Compliance Monitoring Analyst
This is a hybrid position primarily based in Bristol. We’re committed to your flexibility and wellbeing and our hybrid strategy currently requires two days a week in the office, giving you the option to work remotely for some of your working week. Find out more about our culture of flexible working.
We give you a world of potential
An exciting opportunity has arisen for someone to join the CIS Compliance Monitoring team. This role sits in the second line of defence within Computershare’s three lines of defence operating model.
Responsibilities include monitoring and reporting in relation to Computershare Investor Services (CIS) Operational areas to assess compliance with regulatory requirements and internal policies / procedures.
The role requires scoping, planning and delivery of Compliance Monitoring reviews as part of the overall Compliance Monitoring programme to provide assurance to Senior Management and drive improvements in respect of regulatory standards throughout CIS.
A role you will love
- Scope and plan monitoring reviews of CIS business areas in line with the risk-based Compliance Monitoring Programme.
- Complete testing activity through investigation, review, and analysis across CIS’s operational activities to assess compliance with prevailing regulatory requirements, internal policies, and best practice.
- Identify and assess risks arising in the business, referring to prevailing regulatory requirements and best practice.
- Liaise with all levels of staff across the business during testing activity.
- Produce objective, timely and well-presented monitoring reports and gain approval for distribution to senior management and CIS Directors.
- Gain commitment from the business to address any issues identified.
- Assess the completeness and accuracy of actions taken to address monitoring findings
- Liaison with colleagues across Control & Governance, Risk, Compliance and Audit functions where required.
What will you bring to the role?
As an internal candidate you’ll have a basic understanding of the FCA Handbook
You’ll be a self-starter who can work with limited direction and supervision, with a proactive & resilient approach, able to deliver under pressure. Proven organisational and time management capabilities, along with strong analytical skills with high levels of attention to detail.
Effective interpersonal, presentation & literacy skills will allow you to successfully communicate across all levels of the business, whilst making use of your influencing and negotiation skills.
If this role sounds of interest and you would like further information, please contact the hiring manager Ben Cheetham.
Rewards designed for you
Flexible work to help you find the best balance between work and lifestyle.
Health and wellbeing rewards that can be tailored to support you and your family.
Invest in our business by setting aside salary to purchase shares in our company, and you’ll receive a company contribution as well.
Extra rewards ranging from recognition awards and team get togethers to helping you invest in your future.
And more. Ours is a welcoming and close-knit community, with experienced colleagues ready to help you grow. Our handbook will help you find out more about our rewards and life at Computershare, visit https://www.computershare.com/corporate/about-us/join-our-team/us-candidate-handbook
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A company to be proud of We're a global leader in financial administration with over 14,000 employees across more than 21 different countries. At Computershare, it’s more than just a job, our open and inclusive culture means that we will help you to grow, to move forward and make the most of our world of opportunities.A diverse and inclusive place to work Computershare celebrate the diversity of our people, and we welcome applications from everyone. We believe that having a culture of inclusion is essential in delivering good results. Attracting, retaining, and developing a diverse workforce where employees feel valued, respected, and empowered allows people to reach their full potential. As a business this diversity helps us to better reflect and understand our customers' needs to allow us to drive better outcomes. We are happy to accommodate individual needs during your application journey. If you require disability accommodations or adjustments, please email us at TalentAcquisition@computershare.com detailing your requirements and contact information. Computershare is an equal opportunity employer. Qualified applicants will receive consideration for employment regardless of race, color, religion, sex, sexual orientation, gender identity or expression, national or ethnic origin, age, disability, protected veteran status, or other characteristics protected by applicable law.
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